What do I need to study for My CE?

The regulatory element of the CE requirement is series of drills and practices presented on a computer. Based on your registration year and the type of registration you have you will be required to appear at an approved testing center to take your CE. The NASD will notify you or your firm’s compliance officer when your CE is due. There is very little in the way of information provided about the CE simulations. It is mostly ethics and knowledge based. The sessions are designed to help promote knowledge and the ethical treatment of customers. In short Just remember your ethics and to protect the customer.